Joseph P. Grogan
Professional summary
Joseph Patrick Grogan, who also goes by Joe Grogan, Joseph P Grogan, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Patrick Grogan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2016 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 250 West 34th Street 3rd Floor, New York, NY 10119July 24, 2013 - March 11, 2016
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 31, 2011 - June 27, 2013
PYRAMIS DISTRIBUTORS CORPORATION LLC
August 1, 2006 - May 18, 2011
FIDELITY BROKERAGE SERVICES LLC
October 10, 2003 - August 16, 2005
FORESIDE FUND SERVICES, LLC
August 7, 2002 - October 6, 2003
QUASAR DISTRIBUTORS, LLC
February 23, 2000 - February 28, 2002
BLACKROCK EXECUTION SERVICES
May 20, 1996 - December 31, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
December 2, 1993 - May 13, 1996
FIDELITY BROKERAGE SERVICES LLC
April 8, 1993 - August 25, 1993
AMERIPRISE ADVISOR SERVICES, INC.
September 19, 1989 - October 18, 1989
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/4/2016)
(4/26/2016)
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(4/27/2016)
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(4/26/2016)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
